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Detailed Report
STEVEN MARK LAZARUS
CRD#: 1739198
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4 Landmark Square
2nd Floor
Stamford, CT 06901
Registration History
199019952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2009 (7 years)BFIS SECURITIES, INC. (CRD# 30533)2001 - 2002 (<1 year)BDOLPHIN SECURITIES, INC. (CRD# 10525)1987 - 2001 (13 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - 2009 (7 years)
License(s)

State Registrations

B
Alabama 8/8/2022
B
New Hampshire 7/14/2022
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 1/18/2022
B
New Mexico 11/27/2019
B
Colorado 12/11/2018
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 5/28/2014
IA
Connecticut 6/1/2009
B
Ohio 6/1/2009
B
Delaware 2/1/2021
B
Oregon 8/9/2024
B
District of Columbia 7/31/2024
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
Rhode Island 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 6/1/2009
B
Illinois 6/1/2009
B
Tennessee 8/8/2022
B
Louisiana 9/25/2024
B
Texas 6/1/2009
B
Maine 11/30/2011
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Utah 1/5/2022
B
Massachusetts 6/1/2009
B
Vermont 7/6/2018
B
Michigan 6/1/2009
B
Virginia 6/1/2009
B
Minnesota 8/8/2022
B
Washington 9/27/2019
B
Missouri 7/31/2024
B
Wyoming 9/30/2022
B
Montana 7/31/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
4 Landmark Square 2nd Floor, Stamford, CT 06901
La Quinta, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4 Landmark Square 2nd Floor, Stamford, CT 06901
La Quinta, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) STAMFORD, CT
B
 12/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) STAMFORD, CT
IA
 01/07/2002 - 01/02/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
B
 12/18/2001 - 01/02/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
B
 09/21/2001 - 01/25/2002 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
B
 11/17/1987 - 04/13/2001 DOLPHIN SECURITIES, INC. (CRD#:10525) SAN MARCOS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.